Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Charges Investment Adviser for Misleading Performance Advertising

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Investment Advisers, Uncategorized In a settled action, the SEC charged an investment adviser for false advertising and its chief compliance officer on related matters. The defendants did not admit or deny the charges. Among other things, the SEC claimed advertisements which did not disclose that the portrayed results did not deduct fees and thus materially overstated investment performance […] Read more →

by   |   September 18, 2014

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SEC Examinations of Newly Registered Private Fund Advisers Wind Down

Investment Advisers, Private Equity In testimony before Congress, SEC Chair Mary Jo White noted that she anticipates SEC staff will conclude a two-year initiative to conduct focused, risk-based exams of newly... Read more →

by   |   September 11, 2014

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SEC Cops Bust 36 for Failure to File Ownership Reports

Investment Advisers, Litigation, Public Companies and Securities The SEC charged 29 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and... Read more →

by   |   September 10, 2014

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CFTC Eliminates Barrier to Hedge Funds Using JOBS Act General Solicitation

Investment Advisers, Public Companies and Securities Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from exemptions related to CPO (commodity... Read more →

by   |   September 9, 2014